Partnership Employment ยท 1 day ago
Supervising Principal
Atlanta Metro
Full-time
Onsite
Lead/Staff
$80K/yr - $90K/yrPartnership Employment is seeking a Supervising Principal to oversee business activities and ensure compliance with regulatory expectations. The role involves evaluating trading activities, assessing account modifications, and providing supervisory coverage for managed account programs.
ConsultingHuman ResourcesStaffing Agency
Hiring Manager
Steven Cebel
Responsibilities
Evaluate business activity occurring under OSJ oversight to identify recurring regulatory or risk themes and determine whether proposed or ongoing practices meet supervisory expectations
Perform oversight reviews of trading activity through analysis of transaction reports and exception items
Assess newly established accounts and significant account modifications to confirm appropriateness, documentation integrity, and supervisory approval
Provide ongoing supervisory coverage for managed account programs, including periodic assessments of activity, controls, and alignment with client objectives
Review advisory contracts and oversee their operational execution to ensure consistency with disclosed terms and regulatory requirements
Oversee designated activities of financial professionals affiliated with unaffiliated investment advisers, including monitoring of externally held managed accounts
Conduct targeted surveillance of electronic correspondence using firm-approved archival and monitoring platforms
Partner with supervised personnel to remediate suitability issues, clarify supervisory expectations, and reinforce firm processes and procedural standards
Collaborate with Compliance to resolve communication issues, client complaints, and identified supervisory gaps or control weaknesses
Qualification
Required
Evaluate business activity occurring under OSJ oversight to identify recurring regulatory or risk themes and determine whether proposed or ongoing practices meet supervisory expectations
Perform oversight reviews of trading activity through analysis of transaction reports and exception items
Assess newly established accounts and significant account modifications to confirm appropriateness, documentation integrity, and supervisory approval
Provide ongoing supervisory coverage for managed account programs, including periodic assessments of activity, controls, and alignment with client objectives
Review advisory contracts and oversee their operational execution to ensure consistency with disclosed terms and regulatory requirements
Oversee designated activities of financial professionals affiliated with unaffiliated investment advisers, including monitoring of externally held managed accounts
Conduct targeted surveillance of electronic correspondence using firm-approved archival and monitoring platforms
Partner with supervised personnel to remediate suitability issues, clarify supervisory expectations, and reinforce firm processes and procedural standards
Collaborate with Compliance to resolve communication issues, client complaints, and identified supervisory gaps or control weaknesses
Company
Partnership Employment
Partnership Employment is a staffing and recruiting company offering staffing and executive search services.
Founded in 2002
11-50 employees
Funding
Current Stage
Early StageLeadership Team
David Lutz
Managing Partner
Joseph Kelly
Managing Partner
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